Skip to main content

Antitrust Counseling & Compliance 2016


Speaker(s): Alicia L. Downey, Douglas F. Broder, Lisa C. Wood, Lisl J. Dunlop, M. Howard Morse, Patricia A. Conners, Sonia K. Pfaffenroth, W. Stephen Smith, William H. Efron
Recorded on: Sep. 28, 2016
PLI Program #: 149038

Mr. Broder, a former chair of the firm’s antitrust practice group, has practiced for nearly 40 years in federal and state courts throughout the United States and abroad. His practice includes litigating antitrust matters, including criminal matters, as well as a wide variety of commercial matters for national and international clients in numerous industries. Mr. Broder also assists clients in obtaining antitrust clearance for mergers, acquisitions and joint ventures and provides antitrust compliance counseling to major corporations and trade associations.

Mr. Broder has an extensive appellate practice and has had primary responsibility for more than 45 appeals to the U.S. Court of Appeals for the Second Circuit alone.

Recently, Mr. Broder was lead antitrust attorney on the trial team that secured a groundbreaking antitrust jury verdict for Continuant, Inc./Telecom Labs, Inc. (TLI), an independent provider of maintenance services for telephone equipment, in the U.S. District Court for the District of New Jersey. Following a six-and-a-half month trial, a New Jersey federal jury returned a $20 million antitrust verdict (which was automatically trebled to $60 million) in favor of the client. (Avaya Inc. v. Telecom Labs Inc. et al.) The case was the first antitrust claim of its type (single product aftermarket) to make it to trial and to a successful verdict since the plaintiffs in Eastman Kodak v. Image Technical Services tried their case to verdict after the Supreme Court first recognized this type of claim in 1992. In a subsequent landmark ruling, the New Jersey federal court awarded TLI $2.6 million in prejudgment interest. This is the first time in history prejudgment interest has been awarded in a federal antitrust lawsuit.

Mr. Broder recently completed the third edition of his book, U.S. Antitrust Law and Enforcement: A Practice Introduction, (Oxford University Press, 3d ed. 2016).  He also  authored: A Guide to U.S. Antitrust Law (Sweet & Maxwell, London, 2005); and Antitrust Law Desk Book (Aspen Law & Business, New York, 2001).  Mr. Broder authored a chapter in Inside the Minds: Antitrust Laws (Aspatore Press, 2005) and was the principal editor of, and a contributing author to, International Joint Ventures (Professional Information Publishing, Ltd., 1996).  Mr. Broder has published numerous articles on antitrust, legal writing, and written advocacy and is a member of the editorial board of, and the U.S. law reporter for, the monthly European Competition Law Review.

PROFESSIONAL  BACKGROUND

Prior to joining K&L Gates, Mr. Broder was a partner in the New York office of a major international law firm, where he headed the firm’s antitrust practice.

PRESENTATIONS

Mr. Broder has presented numerous talks and continuing legal education seminars on antitrust/competition law topics and on effective brief writing and appellate advocacy.

PUBLICATIONS

Federal Judge Enjoins NCAA Player Likeness Rules as Illegal Price Fixing, Antitrust Competition & Trade Regulation Alert, 12 August 2014

NJ Avaya Ruling Reminds Us That Kodak Is Alive And Well, Law 360, 19 May 2014

Kodak Lives: New Jersey Jury Finds Antitrust Violation in the Aftermarkets for Maintenance of Avaya Products, Antitrust, Competition and Trade Regulation, 13 May 2014

Co-author, Vertical Price Fixing in the United States — Who’s in Charge?, European Competition Law Review, April 2013

U.S. Antitrust Law and Enforcement: A Practice Introduction, 2010

Prison for Due Diligence Disclosures? (Bei Austausch von Informationen droht Gefängnis), Frankfurter Allgemeine Zeitung, Nr. 71, p. 23, March 25, 2009

Persuasive Brief Writing in Antitrust Cases: How to Win the Paper War, ABA Section of Litigation Journal, May 2008

International Enforcement, 2008: The Long Arm of US Criminal and Regulatory Law, presented via webinar, December 7, 2007

A Guide to US Antitrust Law, May 2005

The Role of Counsel in Antitrust Law, chapter from Inside the Minds: Antitrust Laws - Leading Lawyers Offer Winning Legal Strategies for Interpreting & Analyzing Antitrust Regulations, Spring 2005

PROFESSIONAL/CIVIC  ACTIVITIES

Pro Bono Panel, United States Court of Appeals for the Second Circuit, 1982-present American Bar Association (Antitrust and International Law Sections)

Association of the Bar of the City of New York (Antitrust and Trade Regulation Committee) International Bar Association (Competition Law Section)

Rated AV® Preeminent™ by Martindale-Hubbell® and named a2012 Top Rated Lawyer® in Appellate Law

Recognized by peers since 2007 as New York SuperLawyer in the areas of antitrust litigation, business litigation and appellate litigation

Listed: Who’s Who in the World, Who’s Who in America, Who’s Who in American Law, Who’s Who in the East

ADMISSIONS

Bar of New York

Supreme Court of the United States

United States Court of Appeals for the Fourth Circuit United States Court of Appeals for the Ninth Circuit United States Court of Appeals for the Second Circuit United States Court of Appeals for the Sixth Circuit

United States District Court for the Eastern District of Michigan United States District Court for the Eastern District of New York United States District Court for the Southern District of New York United States Tax Court

EDUCATION

J.D., Boston University School of Law, 1977, (cum laude; Editor, Boston University Law Review)

B.A., Vassar College, 1970


Alicia Downey is a Boston-based lawyer who helps clients develop antitrust-compliant pricing and marketing strategies, minimum advertised price policies, joint ventures, and distribution relationships in diverse industries such as consumer goods, agriculture, medical devices, motor vehicles, and high technology. 
Alicia is featured as a leading antitrust lawyer in Chambers USA Guide to America’s Leading Lawyers for Business, which notes that she is described by market sources as “outstanding,” as well as “excellent at civil litigation and compliance.”
In addition to serving in various leadership positions in the ABA Section of Antitrust Law and the ABA Business Law Section, Alicia is a contributing author to the treatise Antitrust Advisor (Thomson Reuters) and the first and second editions of Law and Economics of Product Distribution, published by the ABA Section of Antitrust Law.
Alicia received her J.D., magna cum laude, from Boston College Law School and holds undergraduate and graduate degrees from Harvard University. Prior to entering private practice, she was a law clerk to Justice Herbert P. Wilkins of the Massachusetts Supreme Judicial Court. 

RECENT PRESENTATIONS AND PUBLICATIONS
• The Robinson-Patman Act and E-Commerce: Making Sense of an Old Law in the Internet Age, ABA Section of Antitrust Law Teleprogram (Apr. 18, 2019)
• Social Media for Antitrust Lawyers, podcast hosted by Legal Talk Network at the ABA Section of Antitrust Law Spring Meeting (Mar. 28, 2019)
• Antitrust Counseling and Compliance 2018, Practising Law Institute, New York, N.Y. (Oct. 31, 2018)
• Annual Antitrust Update for Business Lawyers, ABA Business Law Section Annual Meeting, Chicago, Ill. (Sept. 13, 2018)
• Antitrust Aftermarkets, ABA Section of Antitrust Law (Mar. 14, 2018)
• Antitrust Counseling and Compliance 2017, Practising Law Institute, New York, N.Y. (Nov. 1, 2017)
• Annual Antitrust Update for Business Lawyers, ABA Business Law Section Annual Meeting, Chicago, IL (Sept. 14, 2017)
• Robinson-Patman Act: Revival of an Endangered Species?, ABA Section of Antitrust Law Spring Meeting, Washington, D.C. (Mar. 29, 2017)
• Antitrust Counseling and Compliance 2016, Practising Law Institute, New York, N.Y. 
(Sept. 28, 2016)
• Annual Antitrust Update for Business Lawyers, ABA Business Law Section Annual Meeting, Boston, MA (Sept. 8, 2016)
• Counseling the Confused Client: Common Misperceptions About the Do’s and Don’ts of Distribution, ABA Section of Antitrust Law, Distribution & Franchising Committee teleprogram (June 27, 2016)
 


Lisa Wood has over 35 years of experience handling complex business litigation, principally in the areas of antitrust, securities, fraud, and accountants’ liability.  In recognition of her effectiveness as a litigator and antitrust counselor, Lisa has been selected for inclusion in The Best Lawyers in America and Chambers USA, which cited her as “one of the top litigators in Boston.”

Lisa advises numerous companies in securities and antitrust litigations, and in government investigations by the FTC, Antitrust Division, and SEC.  She also has represented many different accounting firms, including all of the ‘Big Four” and other national, regional and local firms, in securities and accounting malpractice claims, and in regulatory investigations by the SEC, IRS, PCAOB and other federal and state authorities.  She has an active antitrust counseling practice, including advice on joint ventures, mergers, standard setting, patent settlements, information sharing, benchmarking, IP licensing, distribution, pricing strategies and advertising.

Lisa plays a lead role in firm governance, co-chairing the Litigation Department, and serving on the Distribution and Billing Committees.  Lisa has been instrumental in developing alternative fee arrangements for clients, implementing sophisticated billing and case management systems for complex litigation matters and instilling a client service discipline on case teams.  According to Chambers, “her work and achievements have been incredible; she’s very efficient and client-focused.”

Lisa is active in the American Bar Association’s Sections on Antitrust and Litigation, and pens a regular column on practical litigation issues called Notes from the Field.

Education
• Boston College Law School, J.D., magna cum laude, Order of the Coif
• Kenyon College, A.B., summa cum laude, Phi Beta Kappa
 


Lisl J. Dunlop, Partner, Axinn: A partner in Axinn’s New York office, Lisl Dunlop has more than twenty-five years of experience in antitrust and competition issues, including counseling, litigation, and transactions.

Lisl guides clients through the antitrust-related aspects of mergers and acquisitions, joint ventures and other combinations, and sales and distribution matters. She also represents clients in antitrust agency investigations, and has represented major corporations in complex antitrust litigations.


 


Patricia Conners is Chief Associate Deputy Attorney General under Florida Attorney General Ashley Moody, overseeing the Antitrust, Consumer Protection, Lemon Law Arbitration, and Civil Rights Divisions as well as other units. She was the supervising attorney in the state's lawsuit against BP and others resulting from the Deepwater Horizon oil spill disaster as well as the supervising attorney representing Florida in the multistate negotiations with the five major mortgage servicers over various issues arising from the foreclosure crisis.  Currently, she is the supervising attorney in the state’s opioids litigation.

In addition to her general management responsibilities, Ms. Conners continues to serve as the Director of the Antitrust Division for the Attorney General's Office, where, since 1995, she has been responsible for implementing and overseeing the Attorney General's state and federal antitrust enforcement efforts.

She is board-certified in Antitrust and Trade Regulation by the Florida Bar and is a past chair of the Antitrust and Trade Regulation Certification Committee of the Florida Bar. She is also active in the Antitrust Law section of the ABA, where she has held a variety of leadership positions.

She was Chair of the NAAG Multistate Antitrust Task Force from 2001 to 2005, a position through which she coordinated multistate antitrust enforcement efforts and developed and ensured the implementation of policy related to Task Force initiatives.

Ms. Conners received both her undergraduate and J.D. degrees from the University of Florida.


Sonia Kuester Pfaffenroth represents companies in a range of industries in international cartel investigations, merger and acquisition reviews and civil antitrust litigation, as well as providing day-to-day antitrust counseling.

Sonia rejoined Arnold & Porter in 2017 from the Antitrust Division of the US Department of Justice (DOJ) where she served most recently as Deputy Assistant Attorney General for Civil and Criminal Operations. In that role, Ms. Pfaffenroth was responsible for supervising both civil and criminal antitrust enforcement efforts, as well as the Division's work with antitrust and competition law enforcement agencies worldwide.  While at the DOJ, Ms. Pfaffenroth oversaw a number of the Division's most significant matters, including the Division's challenges to the Anthem/Cigna and Aetna/Humana mergers and the American Express litigation.

Before leaving to join the DOJ in 2013, Ms. Pfaffenroth was a partner at the firm.  Ms. Pfaffenroth originally joined Arnold & Porter in 2005 after clerking for Judge Paul Friedman of the US District Court for the District of Columbia.


Steve Smith is a Co-Chair of Morrison & Foerster’s Global Antitrust Law Practice Group. He regularly represents parties before both the Antitrust Division of the Department of Justice and the Federal Trade Commission in merger and other antitrust investigations. Mr. Smith has secured antitrust clearances for more than 250 mergers and acquisitions.

Mr. Smith counsels clients on a wide range of antitrust issues in a variety of industries, including high-technology, consumer products, life sciences, financial services, and transportation. He represents parties in antitrust litigation at both the trial and the appellate levels, including Cargill, Inc. in Cargill, Inc. v. Monfort of Colorado, Inc., 479 U.S. 104 (1986).

Mr. Smith has represented clients before the United States Courts of Appeals and the Supreme Court of the United States on matters involving issues ranging from arbitration to federal regulation and constitutional law. Mr. Smith represented a group of United States District Court and Court of Appeals judges at trial, on appeal, and before the Supreme Court in a constitutional challenge arising under Article III, Section 1 of the Constitution, United States v. Hatter, 532 U.S. 557 (2001).

Mr. Smith serves on the Advisory Committee of The George Washington University Competition Law Center’s Corporate Antitrust Roundtable. He also serves on the Litigation Screening Committee for the American Civil Liberties Union of the Nation’s Capital and the Board of Directors of The Morrison & Foerster Foundation.

Prior to his career as a lawyer, Mr. Smith was an economist at the Federal Reserve Bank of Chicago.

Education

Northwestern University (B.A., 1978)

Northwestern University (M.B.A., 1979)

University of Chicago Law School (J.D., 1983)

Rankings

Mr. Smith is frequently recommended by legal publications such as Chambers USA, Global Competition Review’s International Who’s Who of Competition Lawyers & Economists, Legal 500 US and Euromoney’s Expert Guides. He has also been named to the BTI Client Service All-Star Team for law firms. According to Chambers USA, Mr. Smith has been referred to as one of “the single smartest lawyers in Washington,” “has a strong reputation in merger-related antitrust work” and has been praised for his “ability to coalesce the issue into actionable, practical advice.” He is noted by Legal 500 as “always available to provide quick advice.”


 Howard Morse is a Washington-DC based partner in Cooley LLP’s antitrust practice group. He represents businesses before the Department of Justice, Federal Trade Commission, and State Attorneys General in investigations involving mergers and acquisitions as well as alleged monopolization and restraint of trade cases. He also counsels on antitrust issues to help clients achieve their business goals without violating antitrust law and represents clients in antitrust litigation.

Howard regularly helps businesses navigate mergers and acquisitions through the HSR regulatory review process, particularly in the pharmaceutical, biotech and medical device, computer hardware and software, and other high-tech industries.

He has recently represented Meredith Corporation in its $2.8 billion acquisition of Time Inc., combining the companies’ magazine portfolios; Abaxis Inc. in its $2 billion sale to Zoetis Inc., combining their animal health businesses; Zeltiq Aesthetics in its $2.4 billion sale to Allergan plc., combining Zeltiq’s flagship CoolSculpting body contouring system with Allergan’s global aesthetics business; and Rovi in its $1.1 billion acquisition of Tivo, combining two media and entertainment technology innovators.

Howard served for ten years at the FTC where he was Assistant Director of the Bureau of Competition and Deputy Assistant Director for Policy. He was responsible for more than 75 enforcement actions while at the FTC and received the FTC’s Award for Superior Service for “furthering the Commission’s Merger Enforcement Program” and for “advancing the antitrust mission of the Federal Trade Commission in innovation markets and high technology industries.”

Howard has been active in the ABA Antitrust Section, serving on the Section’s Council as well as chairing its Federal Civil Enforcement, Computer Industry, Intellectual Property, and Exemptions and Immunities committees, and serving as editor of the Annual Antitrust Law Developments book.

Howard has been recognized as a leading antitrust lawyer by Best Lawyers in America, Chambers, Expert Guides to the World’s Leading Competition Lawyers, Super Lawyers, Who’s Who Legal: Competition, and Who’s Who Legal: Life Sciences, and has been recognized as a Client Service All-Star by BTI.

Chambers has described Howard as "both knowledgeable and practical," "a well-respected antitrust counselor, particularly experienced in advising hi-tech companies on the intersection between antitrust and IP law" and “well regarded for his work on both the transactional and litigation side of antitrust matters.”

Howard is a graduate of Dartmouth College and Harvard Law School. When not helping clients, Howard can be found sailing, scuba diving, skiing, or traveling with his family.


William H. Efron is the Director of the Federal Trade Commission's Northeast Regional Office. He previously served as Acting Regional Director from March 2012 to June 2012. Prior to joining the FTC in 2009, Mr. Efron was an associate at Simpson Thacher & Bartlett LLP.  He received his J.D. from the University of Virginia School of Law and his B.A. from the University of Pennsylvania.